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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Regulatory Provisions and Compliance | - Ethical practices and fiduciary obligations - Enforcement actions and penalties - Recordkeeping and administrative provisions |
| State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Registration of securities, broker-dealers, agents, and investment advisers - Exempt securities and exempt transactions |
| Registration Procedures and Requirements | - Registration process for agents and broker-dealers - State notice filings and renewals |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following would not appear on a trade confirmation?
- A. the commission
- B. All of the above items appear on a trade confirmation.
- C. the settlement date
- D. the client's account number
Correct Answer: B 🗳️
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A "notice filing" refers to
- A. the filing by a federal covered investment adviser of forms already filed with the SEC along with a
consent to service of process with the state Administrator. - B. a document that the issuer must file with the SEC informing the SEC that the firm has applied to the
state for registration of its new security. - C. notification to the public by the issuer or its underwriters that the issue is being sold on an "all or
nothing" basis. - D. the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a
registration application with the state Administrator.
Correct Answer: A 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity
- A. Only Selections II and III are not securities.
- B. Only Selection III is not a security.
- C. None of the selections listed are securities.
- D. Selections II, III and IV are not securities.
Correct Answer: A 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller
broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new
subsidiary?
- A. BigCash need do nothing since Target Investments was already duly registered with the state as a
broker-dealer. - B. BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a
new registration application. - C. BigCash must file a new application with the state to register its new subsidiary and must also pay the
annual filing fees required by the Administrator. - D. BigCash must file a new application with the state to register its new subsidiary, but will be able to
utilize the remainder of any annual filing fees that Target Investments had paid for the year.
Correct Answer: D 🗳️
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An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the
adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is
serving as the qualified custodian of the client's funds. If the investment adviser wants to avoid being
considered custodian of this client's account, what must the adviser do?
- A. Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to his client. - B. Record what securities were sent, when he received them, and when he forwarded them--which must
be within three business days-to his client. - C. Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to the qualified custodian of the client's funds. - D. Record what securities were sent, when he received them, and when he forwarded them--which
Correct Answer: A 🗳️
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